Professional Experience

• Represented public companies, executive officers of public companies, and public company auditing firms in connection with various SEC investigations involving accounting and disclosure fraud
• Represented public companies and individuals in connection with various insider trading investigations and actions by the SEC, Department of Justice, and FINRA
• Represented broker-dealers and their associated persons in connection with examinations, inquiries, investigations and enforcement actions by the SEC, FINRA, and the Connecticut Department of Banking, covering a wide range of subject matters
• Represented the chief investment officer of an investment adviser to a mutual fund family in a public investigative proceeding brought by the New York State Attorney General's Office involving market timing of mutual funds
• Represented an investment adviser in an SEC investigation and enforcement action concerning market timing and late trading of mutual funds, and in related private class actions and derivative suits
• Represented a securities analyst in an NYSE disciplinary proceeding involving improper disclosure to institutional customers of an impending stock rating downgrade
• Represented a broker-dealer and securities analyst before the NASD's National Adjudicatory Committee in an appeal of the first litigated disciplinary proceeding involving the analyst disclosure provisions of NASD Rule 2711
• Represented a news organization in connection with an SEC inquiry concerning the dissemination of false rumors concerning a pending corporate acquisition
• Represented a hedge fund executive in connection with the New York State Attorney General's investigation concerning the subprime mortgage-backed securities market
• Represented a derivatives portfolio manager in connection with an SEC investigation involving the failure of a mutual fund to make adequate disclosure of its derivatives trading strategies and risk
• Represented the Chief Risk Officer of a futures trading firm in connection with a CFTC and internal corporate investigation concerning substantial trading losses suffered by the firm resulting from unauthorized after-hours trading by an employee
• Conducted an internal investigation for a public company concerning improper revenue recognition by third party vendors
• Conducted an internal investigation for a financial institution concerning a whistleblower complaint alleging fraud, falsification of records, corruption and mismanagement, and violations of anti-money laundering and other securities and banking laws
• Represented a commodity futures commission merchant in a case before the United States Supreme Court concerning the right to bring a private action against a futures exchange for damages caused by the exchange's failure to enforce its rules
• Represented affiliated inter-dealer bond brokers and their parent company in federal court against group boycott conspiracy antitrust claims brought by a fledgling electronic bond trading system
• Served as the "independent third party auditor" for a NYSE specialist firm pursuant to NYSE Rule 104(h), and conducted review of all specialist systems employing algorithms and all algorithms to ensure that they operated in accordance with SEC and NYSE rules
• Served as the SEC-appointed Fair Funds Plan Administrator in charge of monitoring the distribution of $50 million to mutual fund investors pursuant to the SEC's settlement of an enforcement action with a distributor broker-dealer
• Served as the designated independent consultant for a NYSE specialist firm pursuant to settlements with the SEC and NYSE of enforcement actions concerning improper handling of customer order flow on the floor of the NYSE

• Guest Lecturer, Columbia University Graduate School of Business, "Insider Trading Law for Securities Analysts," 1996 to the present
• Co-Author, "White Collar Quarterly," Day Pitney Newsletter Fall 2008
• Panelist, "Treasury's Proposed Regulator Overhaul - Implications for Technology," Second Annual SecuritiesTech Conference, sponsored by Securities Industry News, scheduled for October 6, 2008, New York City
• Day Pitney's Distressed Assets Group team are available for media interviews to discuss implications of proposed House and Senate legislative updates this weekend
• Day Pitney's Jeffrey Plotkin Appointed by Federal Court as Distribution Agent for McAfee, Inc. $50 Million 'Fair Fund' Established in SEC Enforcement Proceeding
• Co-author, Day Pitney White Collar Quarterly Newsletter, Spring 2008
• Quoted, "Regulatory Cooperation Prelude to a Merger Proposal?," Securities Industry News, March 24, 2008
• Panelist, "Global EDiscovery: Cross-Border Employees And Privacy Protocols For Cross-Border Discovery In U.S. Civil Litigation And Investigations," IQPC eDiscovery Conference for the Financial Service Industry, February 29, 2008, New York City
• Co-author, Day Pitney White Collar Quarterly Newsletter, Winter 2008
• BlackBerry in the Regulatory Spotlight: FINRA Provides Compliance Guidance to Member Firms Regarding 'Non-Member E-Mail Platforms' and 'Personal Electronic Communications Devices'" February 2008 (White Paper commissioned by Research in Motion Limited)
• Jeffrey Plotkin Authors White Paper Commissioned by Research in Motion Regarding FINRA's Guidance for Supervision of Electronic Communications, and is Featured Speaker in a Webinar Sponsored by Research in Motion Regarding the Impact of the Guidance on BlackBerry Use on Wall Street, December 12, 2007
• Co-author, "Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading," The Metropolitan Corporate Counsel, October 2007
• Anthony Marchetta, Jeffrey Plotkin, and Jeffrey Manis Author Article in New York Law Journal, "Securities Class Action Settlements - How Corporate Governance Reform Has Played a Role in the Process," September 20, 2007
• Panelist, "Electronic Message Surveillance Webinar: Industry Trends in Response to NASD Supervision Requirements," sponsored by Fortiva, Inc., January 18, 2007
• Panelist, "Electronic Messaging Lifecycle Management," sponsored by Mercury Technologies, Inc. and Fortiva, Inc., New York City, September 14, 2006
• Interview, "Q&A with Jeffrey Plotkin, Attorney At Law, Partner, Pitney Hardin LLP," by The Electronic Communications Compliance Council, July 31, 2006
• Co-author, "The Act-Of-Production Privilege in SEC Proceedings," The Review of Securities & Commodities Regulation, Vol. 39, No. 1, January 4, 2006
• "SEC Enforcement Actions: Show Me the Money," New York Law Journal, December 19, 2005
• Panelist, "How to Handle SEC Investigations from the Informal Investigation Stage to the Conclusion of the Wells Notice Process," Broker-Dealer Enforcement Conference, sponsored by American Conference Institute, October 24, 2005, New York City
• Panelist, "The Evolution of Electronic Discovery and its Impact on the Corporate World," an online interactive seminar sponsored by Iron Mountain and moderated by Securities Industry News, September 27, 2005
• "The Designated Third Party Requirement: The Final Frontier of SEC Rule 17a-4(f)," August 2005
• Panelist, "Compliance: Can Your Company Withstand SEC Scrutiny?" an online interactive seminar sponsored by Iron Mountain and moderated by Securities Industry News, April 28, 2005
• Panelist, "Corporate Governance and the Role of IT," a roundtable discussion moderated by Economist Magazine, Veritas Vision Conference, San Francisco, California, April 25, 2005
• Co-chair, Broker/Dealer Information Management Conference, sponsored by American Conference Institute, March 17-18, 2005, New York City; Panelist, "Meeting Storage Requirements for E-Mail, Instant Messages, and Electronic Documents;" Panelist and Moderator, "Practical Solutions, Integrating a Compliant and Effective Data Management Program into Corporate Culture"
• "E-Mail Discovery in Civil Litigation: Worst Case Scenarios vs. Best Practices," April 2004
• "The Tipper Benefit Test Under the Misappropriation Theory," New York Law Journal, August 15, 2003
• "Broker-Dealer Regulations Concerning E-Mail," New York Law Journal, December 4, 2002

• New York Law School, J.D., cum laude, 1986, editor, N.Y.L.S. Journal of Int'l and Comp. Law; Honors Internship, New York Stock Exchange, Inc., Division of Enforcement, 1985; Internship, New York State Attorney General's Office, Investor Protection and Securities Bureau, 1984-1985
• University of Arizona, B.A., 1981

• State of Connecticut, 1986
• State of New York, 1987
• U.S. District Court, Southern District of New York, 1987
• U.S. District Court, Eastern District of New York, 1988
• U.S. Court of Appeals for the Second Circuit, 1991
• U.S. Supreme Court, 2007

• American Bar Association
• Association of the Bar of the City of New York
• New York State Bar Association, White Collar Criminal Litigation Committee, co-chair, Securities Subcommittee
• Securities Industry and Financial Markets Association, Compliance and Legal Division